FRANKLIN RESOURCES INC — Director's Dealing 2019

Nov 5, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: FRANKLIN RESOURCES INC (BEN)
CIK: 0000038777
Period of Report: 2019-11-01

Reporting Person: Plafker Jed A. (Senior Vice President)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-11-01	Common Stock, par value $.10	A	39216	$28.05	Acquired	125968.786	Direct
2019-11-01	Common Stock, par value $.10	A	14418	—	Acquired	140386.786	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock, par value $.10	529.5731	Indirect

Footnotes

F1: On November 3, 2017, December 11, 2017, and November 2, 2018, the Reporting Person was granted certain restricted stock units subject to vesting over a three-year period based upon satisfaction of certain performance criteria. On November 1, 2019, the Issuer's Compensation Committee certified that certain performance criteria with respect to the Issuer's fiscal year ended September 30, 2019 were achieved, and therefore the amount of shares reported in Column 4 are scheduled to vest on November 29, 2019.

F2: Not applicable.

F3: Of the amount of securities beneficially owned, 87,893 shares represent unvested restricted stock awards (which excludes the unvested restricted stock units scheduled to vest on November 29, 2019 as reported in Footnote 1).

F4: Reporting Person holds shares in the Franklin Templeton 401(k) Retirement Plan. Information is based on a plan statement as of October 11, 2019.